FINRA’s Cybersecurity Conference is a one-day, hybrid event that is designed to help you stay current on today’s cybersecurity challenges, understand vulnerabilities and latest threats and create resilience against cyber-attacks.
If you are of a certain generation, you probably remember watching the Schoolhouse Rock! videos and can still remember the words to “Lolly, Lolly, Lolly, Get Your Adverbs Here.” My favorite was “I’m Just a Bill,” because in just over three minutes, it explained the entire legislative process in easy to understand terms. Since becoming Head of FINRA Enforcement, it has become clear to me that,
Module 5: Supervision of the Offer and Sale of Security Futures, addresses issues relevant for persons who will be supervising personnel engaged in a security futures business. Firms must administer Module 5 to their appropriately qualified individuals before such persons can supervise security futures activity.
The Outside Business Activities and Private Securities Transactions section of the 2021 Report on FINRA’s Risk Monitoring and Examination Activities (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) relevant regulatory obligations and related considerations, (2) exam findings and effective practices, and (3) additional resources.
The hackathon is designed to provide technology staff with foundational security knowledge as well as the opportunity to practice mitigating security risks like broken access control, cross-site scripting, security misconfigurations, injection attacks and more. The planning team works with a vendor to create three cyber ranges to practice security hacking at beginner, intermediate and advanced levels.
FINRA is aware of the critical Spring4Shell vulnerability and has taken immediate steps to neutralize the risk.
FINRA is committed to maintaining secure applications and infrastructure as we strive to protect the data we handle. We wish to encourage security researchers to report vulnerabilities in order to help us keep our enterprise and data safe.
Beginning Monday, February 5, 2018, FINRA members will be required to report the “B” and “S” modifiers on applicable transactions in U.S. Treasury Securities (Treasuries) reported to TRACE. Starting on that date, transactions that meet the defined criteria for these types of transactions must include these modifiers:
“B” on a trade report if the transaction being reported is part of a
If you are one of those Americans without a will, vow to make it happen. Here are five things you should know to get you started.
